Welcome Remarks

Sep 23, 2013 8:00am ‐ Sep 23, 2013 8:15am

Identification: GS01

Real-Life Case Expose: Lessons Learned from an Online Gambling and Bank Prosecution

Sep 23, 2013 10:30am ‐ Sep 23, 2013 11:45am

Identification: PS02

  • Examining the true story of an AML compliance officer’s role in uncovering illegal internet gambling and money laundering operations 
  • Overview of the latest law enforcement investigation findings
  • Recounting the consequences of the prosecution for the bank and top executives
  • Identifying similar scenarios within your institution and providing guidance on changing your policies and procedures a avoid these activities

Leveraging the Latest Technology and Data to Create the Next Generation of Financial Intelligence

Sep 23, 2013 1:00pm ‐ Sep 23, 2013 2:15pm

Identification: KS04

As scrutiny of AML, fraud and overall regulatory matters increase, global and regional financial institutions have created cells to assist them in bringing together information for the purposes of greater efficiency and effectiveness. The new generation of Financial Intelligence Units are helping institutions create more insights and drive faster results. This session will cover our view on leading practices in the use of technology and data to drive this vision. This includes:
  • Understanding where technology fits into overall FIU processes
  • The role of enterprise case management
  • Case studies and examples of the use of technology for real time event monitoring, unstructured data analysis, and link analysis
  • How institutions should get started in developing the next generation FIU

Implementing a Culture of Compliance

Sep 23, 2013 1:00pm ‐ Sep 23, 2013 2:15pm

Identification: ES01

  • Influencing behavioral changes in the first line of defense and across the enterprise
  • Creating a culture that strengthens your AML program and fights financial crimes
  • Meeting regulatory expectations company culture and standardS
  • Utilizing metrics to determine if change is occurring

MSB Focus: Maximizing Resources During AML and Fraud Investigations

Sep 23, 2013 1:00pm ‐ Sep 23, 2013 2:15pm

Identification: MT01

  • Evaluating the benefits and challenges of converging AML and fraud investigations
  • Exploring AML and fraud typologies to streamline investigation processes
  • Examining the latest investigative techniques for non-financial institutions
  • Updating internal controls to combat emerging financial crime trends

Incorporating New Products and Emerging Risks into Your Audit Plan

Sep 23, 2013 2:45pm ‐ Sep 23, 2013 4:00pm

Identification: AW02

  • Gaining insight and applying best practices from real-life case studies
  • Assessing the impact of risks associated with new products and emerging markets
  • Modifying your audit processes to test for new risks and areas of vulnerability 
  • Integrating fraud testing into your current audit program strategy

Insurance and Annuities Focus: Identifying Emerging Financial Crime Trends

Sep 23, 2013 2:45pm ‐ Sep 23, 2013 4:00pm

Identification: MT02

  • Analyzing recent fraud trends and scams including elder abuse
  • Revamping monitoring mechanisms to identify and stop illicit activity
  • Realigning internal controls to spot red flags and identify illicit activity
  • Meeting regulatory expectations to avoid penalties

Securities Focus: Realigning Priorities and Identifying Hot Topics for 2013

Sep 23, 2013 4:10pm ‐ Sep 23, 2013 5:25pm

Identification: MT03

  • Identifying the latest trends including market manipulation, master and sub accounts, securities fraud and insider trading
  • Managing the risk of foreign account finders and establishing relationship standards
  • Understanding regulatory priorities and findings on recently prosecuted cases
  • Maintaining

Day Two Opening Remarks ACAMS Awards Ceremony

Sep 24, 2013 8:00am ‐ Sep 24, 2013 8:15am

Identification: GS03

Reinforcing Regulatory Priorities for the Coming Year

Sep 24, 2013 8:15am ‐ Sep 24, 2013 9:30am

Identification: PS03

  • Identifying key examination trends for 2013 and looking forward to 2014
  • Assessing the impact of recently enacted regulations in the financial sector
  • Understanding examiners’ expectations in the areas of risk assessment and internal controls
  • Reviewing the impact of recent enforcement on financial institutions